NFA

It’s unusual for the CFTC to revoke a large firm’s registration, especially for violations of regulatory laws overseen by another regulator

"By now you’d think the NFA would have had a rule in place that prohibits fraud around the use of Bitcoin and Ether. But it ...

The notification requirement kicks in “when specified market or other events affect a commodity pool’s ability to fulfill its participant obligations”

Several investors asked him to cease trading in their accounts. “However, Chopra failed to honor these requests and lied by misrepresenting that he had ceased ...

If your risk assessment deems it appropriate, you can make your 2023 branch office exams remote as well, the NFA states

Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members

A failure to provide the annual affirmation can result in the exemption being withdrawn

The NFA amends the definition of branch office provided three conditions are met

Blame another regulatory change on the pandemic. The NFA has revised its rule regarding reporting branch offices on Form 7-R because of the continuing turmoil ...

Continuing concerns tied to the pandemic has led the NFA to permit remote branch office exams through the end of this year.